Description of document: List of Federal Deposit Insurance ... · (b )(8 AlltF094 Bank of the...

Description of document: List of Federal Deposit Insurance Corporation (FDIC) Office of Inspector General (OIG) investigations closed during CY 2013

Request date: January 2014 Released date: 15-July-2014 Posted date: 21-July-2014 Source of document: FDIC

Legal Division FOIA/PA Group 550 17th Street, NW Washington, D.C. 20429 Fax: 703-562-2797 Online Electronic FOIA Request

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https://efoiarequest.fdic.gov/palMain.aspx

From: "Elmore, John" Date: Jul 15, 2014 10:46:37 AM Subject: RE: FDIC FOIA Log # 14-0427 - Final Response FDIC FOIA Log #14-0427 Attached is the FDIC's final response to your FOIA request. John F. Elmore Counsel FOIA/Privacy Act Group Federal Deposit Insurance Corporation 550 17th Street NW Washington, DC 20429

(bX 1(9_ Invest. Closed _____ .-8/16/2Qg6 ----- ~11/2TJJ6

--.~-·-- /h\ 8\ -~·117 ·· r

6/7/2007 7/11/2007 . Invest. Closed 4/17/2008 4/17/2008 Invest. Closed 6/25/2008

Invest. Closed 11/12/2009 11/13/2009 lleg~d-Mor.tgag_e __ ),(b)(7XC)

ln;t:(j~~---3/g/IDl ---11/Hft&19 --A210-055 -----Hnvest;-Glesea----9/-Eft.-01 l&f.lflt\W--

(b )(8 AlltF094 Bank of the Commonwealth, Norfolk, VA; Bank Fraud lnvest. aosed 12/1/2010 3/14/2012 A211-023 Beach First National Bank, Myrtle Beach; Failed Bank; Bank Fraud Invest. Closed 5/13/2011 5/20/2011 A211-026 First National Bank of Central Florida, Orlando, FL; Bank Fraud Invest. Closed 6/7 /2011 6/7 /2011

(b )(8) A2.!f:012 Silverton Bank, Atlanta, GA; Misrepresentations Relating to Loan Swap Invest. Closed 5/21/2012 9/12/2012 (b)(8) C204-028 =- ~18-BaRk,_Hl!)~_de, IL; Bank Fraud Invest. Closed 6/1/2004 10/19/200410:49 (b)(6) fb1ff----·

C261-002 Customer Account Alleged Theft From a

1/9/2007 2/16/2007 Invest. Closed

1/29/2007 2/16/2007 ---·- ·---- __ ..; b 6 {~X7)(C),

10/19/2007 11/9/2~~

(b )( ---. Michigan Community Financial Services, Multiple Victim Banks; Mortgage loan C207-008 Fraucr-·--·--------- Invest. Closed _________ __.

fb)(6) ~ 1---- - Former CommunityBankPresillimt (Victim), (b)(S},(bj -05-1-- Embezzlement Invest. Closed (b)(8) .

Invest. Closed 1/30/2008 4/4/2008

Invest. Closed 10/15/2008 1/8/2009

Invest. Closed 3/27/2009 6/5/2009 Citizens State Bank, New Baltimore, Ml; Ponzi Scheme, Loan

Invest. Closed 10/15/2009 10/19/2009

10/15/2010 12/15/2010

Invest. Closed 4/21/2010 2/7/2011 1

r~ -~ ~~f;!~f ,tMt~t*:~~ ~ ¥ ~-.L•: :t;c~~f> --~,:, ~ :

Page 2

Commercial Loan Fraud;

heboygan, WI; Alleged Bank

Colorado capital Bank, Castle Rock, CO

Invest. Closed

Invest. Closed

Invest. Closed

Invest. Closed

Invest. Closed

Invest. Closed

Invest. Closed

Invest. Closed

Invest. Closed

Invest. Closed

Invest. Closed

Invest. Closed

Invest. Closed

Invest. Closed

Invest. Closed

Invest. Closed

Invest. Closed

· . victim); Embeulement Invest. Closed

3

1/20/2012 2/14/2012 2/21/2012 4/2/2012

3/7/2012 4/2/2012

6/21/2012 8/6/2012 7/17/2012 8/6/2012

7/12/2012 10/15/2012

7/23/2012 8/2/2012 10/29/2012 1/18/2013 10/29/2012 1/24/2013 11/6/2012 3/4/2013 .

4/10/2007 7/2/2007

4/24/2008 5/20/2008 8/1/2008 8/1/2008

1/20/2009 1/29/2009 4/1/2009 5/6/2009

10/21/2010 9/16/2011

3/9/2011

7/28/2011 8/1/2011

9/28/2011 9/29/2011

1/3/2012 1/31/2012

4/16/2012 4/16/2012

Invest. Closed 8/17/2012 9/19/201l

Invest. Closed 9/28/2006 9/28/2006 Invest. Closed 3/5/2008 4/8/2008

Invest. Closed 7/31/2008 9/17/2008

Invest. Closed 10/15/2008 12/16/2008 Kansas City MO., IndyMac (Victim/Failed Bank);

K209-006 Mortgage Loan Fraud Invest. Closed 4/13/2009 4/16/2009 Vincent J. Garcia 1 Columbian Bank & Trust, Overland Park, KS (Victim/Failed

K209-010 Bank); Commercial Loan Fraud Invest. Closed 4/22/2009 . 5/28/2009 (b)(6),(bK llQl~- . Kansas City MO., IndyMac (Victim/Failed Bank);

K209-022 Invest. Closed 12/2/2009 12/3/2009 (b)(6),(b liCl- ---

(b)(8) K21_Q-j)17 _ Invest. Closed 6/9/2010 8/11/2010

Invest. Closed 1/12/2011 1/14/2011 Alleged

Invest. Closed 1/24/2012 11/16/2012 onneLCEO/E.l:eside.nt,

Alleged Bank Fraud Invest. Closed 2/14/2012 2/14/2012

Invest. Closed 6/28/2012 6/28/2012 Sioux Automations Center Inc., Sioux Center, IA; Alleged

Invest. Closed 10/9/2012 10/9/2012 Bismarck, North Dakota; Alleged Bank

Invest. Closed 12/4/2012 12/5/2012 -·- - _J~i6 b (7)(C)

Invest. Closed 10/1/2006 10/17/2006

Invest. Closed 7/12/2007 7/26/2007 Invest. Closed 5/5/2008 5/28/2008

(b)(6),(b) Principa l Shareholder, Sanderson State Bank; Bank Fraud Invest. Closed 8/15/2008 9/5/2008

5 l}Jl\ ~~ 3~

-------- ------.

Page 4

Invest. Closed 10/26/2008 11/3/2008 False Statement on Bank Employment Application Invest. Closed 11/25/2008 U/1/2008

Chappaqua, NY; Bank Fraud Invest. Closed 4/8/2009 4/21/2009 Victim), New York, NY; Bank Fraud Invest. Closed 6/9/2011 12/28/2011

Invest. Closed 7/10/2009 4/6/2010

Commercial Loan Fraud Invest. Closed 8/10/2009 12/10/2009 5211-018 SunFirst Bank, St. George, UT; Failed Bank Invest. Closed 9/30/2011 11/14/2011 X211-012 IBM ·Potential Contractor Fraud Invest. Closed U/19/2011 5/14/2012

(b)(6),(b) 11~10...- ·Alleged Theft of Checks Payable to the FDIC Invest. Closed 11/13/2012 1/24/2013

7

GA No

AL No

NC No

GA No

9/24/2013 Washington DC No.

(b)(6),(b Yes

Yes (b)(8) No

VA No SC No FL No

GA No ll No

(b)(8) IL No

(b)(61ililf7XC), (b)(6),(b -·---·--- ---~-·--------- -----(b)[S) (b)(8)

es '

(b)(8) __ ,,_Jlt~-

6/11/2013 Detroit Ml Yes

U/2/2013 Muskegon Ml No

:· 8/27 /2013 Lincolnwood IL No

12/11/2013 New Baltimore Ml No

1/31/2013 Carrollton IL No

. 12/11/2013 Chicago IL No

2 V)4f~ \B

~age 1

Page 7

,. 7 /22/2013 Bude MS No

12/16/2013 Minot ND Yes

6/20/2013 Wichita KS Yes

2/1/2013 Topeka KS Yes

10/28/2013 Overland Park KS No

11/21/2013 Kansas City MO Yes

12/19/2013 Overland Park KS Yes

6/10/2013 Kansas City MO Yes

11/25/2013 Ottumwa IA No

·~ 10/22/2013 Minneapolis MN Yes

(b)(S) MO No

MN No

(b)(S) MN No

4/11/2013 Sioux Center IA No

12/16/2013 Bismarck ND No

12/31/2013 Forest Hill NY Yes

2/20/2013 Brooklyn NY Yes uJ't' R~ 3~ 12/31/2013 New York NY Yes 12/11/2013 Glen Head NY Yes

6

-·- ---- - - - - ----

Page 8

!~~!~H~l -3f26fJ.01 MA Yes 7/25/2013 Cherry Hill NJ No

12/31/2013 Chappaqua NY No

12/30/2013 New York NY No

1/15/2013 Gilbert /lJ. Yes

9/26/2013 Lancaster CA No

9/26/2013 St. George UT No

9/30/2013 Arlington VA No

8/23/2013 Arlington VA No

8

- -----------·-· - ··

Page 9

Division of Supervision &

A206-016 9/24/2013 No Atlanta Moran, Jason T. Private cttizen Bank Fraud Consumer Protection

Division of Risk Division of Risk Management

A207-018 1/11/2013 No Atlanta Moran, Jason T. Management Supervision Bank Fraud Supervision Obstruction of Division of Supervision &

A208--008 6/21/2013 No Atlanta Chappell, James H. Department of Justice Justice Consumer Protection


A208-014 12/31/2013 No Atlanta Moran, Jason T. Management Supervision Abuse of Position Supervision

Division of Resolutions &

A208-015 9/24/2013 No Atlanta Moran, Jason T. Legal Division Restitution Fraud Receiverships

Federal Bureau Division of Resolutions & A209-033 8/26/2013 No Atlanta Chappell, James H. lnvestigatio n Bank Fraud Receiverships


A210-011 1/29/2013 Yes Atlanta Anderson, David L Hotline Mail/Wire Fraud Consumer Protection

Division of Risk Management

A210-055 9/24/2013 No Atlanta Moran, Jason T. OJ Initiated Bank Fraud Supervision Fraud Offenses, Division of Resolutions &

A210-094 12/31/2013 No Atlanta Evans, A. Derek Another Agency general Receiverships Federal Bureau Division of Resolutions &

A211·023 6/21/2013 No Atlanta Moran, Jason T. Investigation Bank Fraud Receiverships

Division of Resolutions & Division of Resolutions &

A211-026 9/24/2013 No Atlanta Moran, Jason T. Receiverships Bank Fraud Receiverships

Division of Resolutions & A212-012 10/1/2013 No Atlanta Alessandrino, Matt Department of Justice Bank Fraud Receiverships


C204-028 7/2/2013 No Chicago Lucas, John E. Management Supervision Bank Fraud Supervision

(b)(4J,(bX t2o7--0or--


-wrmn No ·- tnrcag·o- -ucas;ioimI--· Embezzlement Supervision Division of Risk Management

C207-008 10/23/2013 Yes Chicago Lucas, John E. Legal Division Bank Fraud Supervision

1 ttJ~J ~I

C207-051 9/30/2013 No

C208-004 6/11/2013 Yes

(b)(4),(bX ~268-02-7·- tt/2!-2613 No-·---

C209-008 8/27/2013 Yes

C209-037 12/11/2013 No

C210-071 1/31/2013 No

C211·002 12/11/2013 No

C212-015 2/11/2013 No

(b)(4),(b

C212-036 9/5/2013 No

Page 10


Chicago Lucas, John E. . Management Supervision Embeulement Supervision

Division of Resolutions & Chicago Lucas, John E. Legal Division Bank Fraud Re·ceiverships


Ehica tacas;1olm E. Bank Fraud Supervision

Division of Risk Division of Resolutions &

Chicago Lucas, John E. Management Supervision Bank Fraud Receiverships

Division of Resolutions & Chicago Lucas, John E. Department of Justice Bank Fraud Receiverships

D iv~ion of Risk Division of Risk Management

Chicago Lucas, John E. Management Supervision Embeulement Supervision

Division of Resolutions & Concealment of Division of Resolutions & Chicago Lucas, John E. Receiverships

. ' ' .

,_:;;;:t,o;;;..,~ -- ••• ~ ;..,.,,.".._,..; ... ,,. ... ::;..... ~ , ;;-

~

Division of Risk

Chicago Lucas, John E. Management Supervision

taus;1olmr---

icago- Lm:ar,1uhn1-. -

Chicago Lucas, John E. Housing & Urban Dev't.

2

Assets . Receiverships

Fraud Offenses, Division of Risk Management general Supervision


Embeulement Supervision

Embeulement

Embezzlement

Embezzlement

Fraud Offenses,

general


Supervision


Supervision


Supervision

Division of Resolutions & Receiverships


C21i-037. 12/11/2013 No Chicago Lucas, John E. Management Supervision Bank Fraud Supervision

Division of Risk Management -- hicago- -- ltrcas;-Jolmt- - Embezzlement Supervision

Division of Resolutions & Fraud Offenses, Division of Resolutions &

C212-057 12/11/2013 No Chicago Lucas, John E. Receiverships general Receiverships

Division of Risk Division ofRisk Management

C212-058 10/24/2013 No Chicago Lucas, John E. Management Supervision Embezzlement Supervision


C212-059 8/2/2013 No Chicago Lucas, John E. Management Supervision Embezzlement Supervision


0207-023 12/10/2013 Yes Dallas Younger, Laurie L. legal Division Embezzlement Consumer Protection

Division of Resolutions & Division of Resolutions &

0208-010 2/27/2013 Yes Dallas Younger, Laurie L Receiverships Bank Fraud Receiverships

Federal Bureau Division of Supervision &

0208-013 8/14/2013 Yes Dallas Younger, Laurie L. Investigation Bank Fraud Consumer Protection


0209-002 7/12/2013 Yes Dallas Younger, La·urie L. Legal Division Bank Fraud Consumer Protection

Federal Bureau Division of Insurance &

0209-011 1/18/2013 Yes Dallas Younger, Laurie L Investigation Mail/Wire Fraud Research

Division of Risk Division of Resolutions &

0210-029 2/12/2013 No Dallas Younger, Laurie L. Management Supervision Bank Fraud Receiverships


0211-010 7/18/2013 No Dallas Younger, Laurie L Investigation Bank Fraud Consumer Protection

Federal Bureau Division of Risk Management

0211-029 12/31/2013 Yes Dallas Younger, Laurie L. Investigation Bank Fraud Supervision

Federal Bureau Misappropriation of Division of Risk Management

D211-036 5/22/2013 No Dallas Younger, Laurie L. Investigation Funds Supervision

3 lJl~ {j 3

Federal Bureau Fraud Offenses, Division of Resolutions &

D212-001 12/31/2013 No Dallas Younger, Laurie L. Investigation general Receiverships


D212-011 2/27/2013 No Dallas Younger, Laurie L. Management Supervision Embezzlement Supervision

(b)(4),(bX L ____ Division of Risk Management D212-028 7 22 2013 No Dallas Younger, Laurie L Bank Fraud Supervision

Kansas Division of Risk Division of Risk Management

K206-021 12/16/2013 Yes City Anderson, David L. Management Supervision Bank Fraud Supervision


K20B-003 6/20/2013 Yes City Lucas, John E. Management Supervision Bank Fraud Supervision

Kansas Division of Resolutions & Fraud Offenses, Division of Resolutions &

K208-010 2/1/2013 Yes City Anderson, David L. Receiverships general Receiverships

Kansas Division of Risk Division of Resolutions & K208-017 10/28/2013 Yes City Anderson, David L. Management Supervision Bank Fraud Receiverships

Kansas Division of Resolutions & K209-006 . 11/21/2013 Yes City Anderson, David L De pa rtme nt of Justice Bank Fraud Receiverships

Kansas

K209-010 12/19/2013 Yes City Anderson, David L Private Citizen Bank Fraud Office of Inspector General

Kansas Division of Resolutions & K209-022 6/10/2013 Yes City Anderson, David L Department of Justice Bank Fraud Receiverships

Kansas Misappropriation of

ll,7257WB No _____ ___

iff " Funds Office of Inspector General Kansas Division of Supervision &

K21Hl01 10/22/2013 Yes City Anderson, David L. Department of Justice Bank Fraud Consumer Protection Kansas Division of Risk Management

K212-002 9/11/2013 No City Anderson, David l. Department ofTreasury Embezzlement Supervision

4 GJi~ ~ f


K212-003 8/5/2013 No City Anderson, David L. Management Supervision Bank Fraud Supervision

Kansas Division of Risk Management

Kl12·014 1/29/2013 No City Anderson, David L. 01 Initiated Embezzlement Supervision

Kansas

Kl12-020 4/11/2013 Yes City Anderson, David L. Department'Of Justice Bank Fraud Office of Inspector General

Kansas Department of Homeland Division of Risk Management

K212-027 12/16/2013 No City Anderson, David L Security (USSS and ICE) Bank Fraud Supervision

N206-022 12/31/2013 No Northeast Evans, A. Derek 01 Initiated Bank Fraud Not Applicable


N207·022 2/20/2013 Yes Northeast Evans, A. Derek Department of Justice Bank Fraud Consumer Protection

Federal Bureau Division of Resolutions &

N208-005 12/31/2013 No Northeast Evans, A. Derek Investigation Bank Fraud Receiverships


N208-011 12/11/2013 Yes Northeast Evans, A. Derek Investigation Bank Fraud Consumer Protection


N208·016 3/26/2013 No Northeast Evans, A. Derek State/Local Government Bank Fraud Consumer Protection

False Employment Division of Supervision &

N208-017 7/25/2013 No Northeast Evans, A. Derek Anonymous Application Consumer Protection


N209-005 12/31/2013 No Northeast Evans, A. Derek Department ofTreasury Bank Fraud Consumer Protection Federal Bureau

N211-008 12/30/2013 No Northeast Evans, A. Derek Investigation Bank Fraud Office of Inspector General

San Division of Re~olutions & S209-024 1/15/2013 No Francisco Walters, Wade V. Chairman's Office Bank Fraud · Receiverships

San Division of Resolutions &

5209-041 9/26/2013 No Francisco Walters, Wade V. Contractor Bank Fraud Receiverships San Misappropriation of Division of Resolutions &

(b)(S),(b 21-1--0la.---_JJ/-26/-tfJ-il No - Fra neisee-- alters,Wade-V:--· ~ · ·• ·; ~ DRR-=··~ .-,., -, Funds Receiverships Division of Information

X211-012 9/30/2013 No ECU Chappell, James H. Anonymous False Claims Technology

5 i)K -:l (9'

X212-010 8/23/2013 No ECU

Page 14

Theft of

Government

Chappell, James H. Division of Administration Property

6

Division of Administration

A206-016 9/24/2013 Open Bank/Thrift Bank/Thrift Operations Bank/Thrift Employee/Offic!al $8,000,000.00

A207-018 1/11/2013 Open Bank/Thrift Bank/Thrift Operations Bank/Thrift Employee/Official $2,500,000.00

A208--008 6/21/2013 Other FDIC Operations Bank/Thrift Operations Bank/Thrift Employee/Official $100,000,000.00

A208-014 12/31/2013 Closed Bank/Thrift Bank/Thrift Operations Bank/Thrift Employee/Official $50,000,000.00

A208-01S 9/24/2013 Closed Bank/Thrift Restitution Collection Bank/Thrift Customer $19,000,000.00


A21(}-011 . 1/29/2013 Other FDIC Operations Bank/Thrift Operations FDIC Current/Former Employee $420,000.00 A21(}-055 9/24/2013 Open Bank/Thrift Bank/Thrift Operations Bank/Thrift Customer $670,000.00 A21(}-094 12/31/2013 Closed Bank/Thrift Bank/Thrift Operations Bank/Thrift Employee/Official $10,000,000.00



A212-012 10/1/2013 Closed Bank/Thrift Asset Sales Bank/Thrift Employee/Official $7,000,000.00 18USC

1344 Bank

C204-028 7/2/2013 Open Bank/Thrift Bank/fhrift Operations Bank/Thrift Customer fraud $43,000,000.00

C207-002 5/7/2013 Open Bank/Thrift Bank/Thrift Operations Bank/Thrift Employee/Official . $94,000.00

C207-008 10/23/2013 Closed Bank/Thrift Bank/Thrift Operations Other $511,500.00

C207-051 9/30/2013 Open Bank/Thrift Bank/Thrift Operations Bank/Thrift Employee/Official $20,000.00

C208-004 6/11/2013 Closed Bank/Thrift Other FDIC Operations Other $2,843,000.00

C208-027 12/2/2013 Open Bank/Thrift Bank/Thrift Operations Bank/Thrift Employee/Official $2,500,000.00

C209-008 8/27/2013 Closed Bank/Thrift Bank/fhrift Operations Bank/Thrift Employee/Official $2,172,000.00

C209-037 12/11/2013 Closed Bank/Thrift Bank/Thrift Operations Bank/Thrift Employee/Official $100,000,000.00

(210-071 1/31/2013 Open Bank/Thrift Bank/Thrift Operations Bank/Thrift Employee/Official $104,184.00

1

l!JK~ fj I~

C211-002 12/11/2013 Open Bank/Thrift Other FDIC Operations Other $2,000,000.00

C211-042 9/4/2013 Open Bank/Thrift Bank/Thrift Operations Bank/Thrift Customer $125,000.00


C212-015 2/11/2013 Open Bank/Thrift Bank/Th rift Operations Bank(rhrift Employee/Official $200,000.00

C212-016 3/29/2013 Open Bank/Thrift Bank/Thrift Operations Bank(rhrift Employee/Official $138,590.00

C212-034 11/12/2013 Open Bank/Thrift Bank/Thrift Operations Bank/Thrift Employee/Official $898,991.00 C212-036 9/5/2013 Closed Bank/Thrift Bank/Thrift Operations Bank/Thrift Customer $0.00


C212·038 4/1/2013 Open Bank/Thrift Bank/Thrift Operations Bank/Thrift Employee/Official $198,135.85 C212-057 12/11/2013 Closed Bank/Thrift Bank/Thrift Operations Bank/Thrift Customer $4,454,374.00 C212-058 10/24/2013 Open Bank/Thrift Bank/Thrift Operations Bank/Thrift Employee/Official $177,761.00

C212-059 8/2/2013 Other FDIC Operations Employee Activities FDIC Current/Former Employee $10,550.00

0207-023 12/10/2013 Open Bank/Thrift Bank/Thrift Operations Bank/Thrift Employee/Official $560,000.00

0208-010 2/27/2013 Closed Bank/Thrift Bank/Thrift Operations Bank/Thrift Employee/Official $20,000,000.00 0208-013 8/14/2013 Open Bank/Thrift Bank/Thrift Operations Bank/Thrift Customer $792,000.00

0209-002 7/12/2013 Open Bank/Thrift Bank/Thrift Operations Bank/Thrift Employee/Official $2,424,000.00 0209-011 1/18/2013 Other FDIC Operations Other FDIC Operations Other $20,000,000.00

0210-029 2/12/2013 Closed Bank/Thrift Bank/Thrift Operations Bank/Thrift Employee/Official $6,000,000.00

0211-010 7/18/2013 Open Bank/Thrift Bank/Thrift Operations Bank/Thrift Employee/Official $1,000,000.00

0211-029 12/31/2013 Open Bank/Thrift Bank/Thrift Operations Bank/Thrift Customer $18,700,000.00


0212-001 12/31/2013 Closed Bank/Thrift Bank/Thrift Operations Other $108,204.58

3 ~J~~~ ;4


0212-028 7/22/2013 Open Bank/Thrift Bank/Thrift Operations Bank/Thrift Employee/Official $1)43, 703 .29

K206-021 12/16/2013 Open Bank{rhrift Bank/Thrift Operations Bank/Thrift Employee/Official $53,000,000.00

K208-003 6/20/2013 Open Bank/Thrift Bank/Thrift Operations Bank/Thrift Employee/Official $1,000,000.00

K208-010 2/1/2013 Closed Bank/Thrift Bank/Thrift Operations Bank/Thrift Employee/Official . $61500,000.00

K208-017 10/28/2013 Open Bank/Thrift Bank/Thrift Operations Bank/Thrift Customer $700,000,000.00

K209-006 11/21/2013 Closed Bank/Thrift Bank/Th rift Operations Bank/Thrift Customer $17,800,000.00

K209-010 12/19/2013 Closed Bank/Thrift Bank/Thrift Operations Bank/Thrift Customer $16,000,000.00

K209-022 6/10/2013 Closed Bank/Thrift Bank/Thrift Operations Bank/Thrift Customer $2,200,000.00

K210-017 11/25/2013 Open Bank/Thrift Employee Activities Bank/Thrift Employee/Official $1,505,000.00


K212-002 9/11/2013 Open Bank/Thrift Bank/Thrift Operations Bank/Thrift Employee/Official $500,000.00

K212-003 8/5/2013 Open Bank/Thrift Employee Activities Bank/Thrift Employee/Official $21,808,214.96


K212-020 4/11/2013 Open Bank{rhrlft Bank/Thrift Operations Bank/Thrift Customer $17,500,000.00

K212-027 12/16/2013 Open Bank/Thrift Bank/Thrift Operations Bank/Thrift Employee/Official $350,000.00

N206-022 12/31/2013 Closed Bank/Thrift Bank/Thrift Operations Other $20,000,000.00

N207-022 2/20/2013 Closed Bank/Thrift Bank/Thrift Operations Bank/Thrift Customer $15,000,000.00 N208-005 12/31/2013 Closed Bank/Thrift Bank/Thrift Operations Other $20,493,000.00

5

fj 3A lrJ~3

----------····-- ·--·

Page! Page 18

N208-011 12/11/2013 Closed Bank/Thrift Bank/Thrift Operations Bank/Thrift Employee/Official $32,000,000.00

N208-016 3/26/2013 Closed Bank/Thrift Bank/Thrift Operations Other $498,000.00

N208-017 7/25/2013 Open Bank/Thrift Employee Activities Bank/Thrift Employee/Official $121,464.53 N209-005 12/31/2013 Open Bank/Thrift Bank/Thrift Operations Bank/Thrift Customer $25,000,000.00

N211-008 12/30/2013 Open Bank/Thrift Other Debt Collection Bank/Thrift Customer $4,000,000.00 S209-024 1/15/2013 Closed Bank/ihrift Asset Management Bank/Thrift Customer $157,870.67

5209-041 9/26/2013 Closed Bank/Thrift Asset Sales Bank/Thrift Customer $7,421,508.42 5211-018 9/26/2013 Closed Bank/Thrift Bank/Thrift Operations Bank/Thrift Employee/Official $46,670.00

Other Contracting/

X211-012 9/30/2013 Other FDIC Operations Purchasing FDIC Contractor $0.00 X212·010 8/23/2013 Other FDIC Operations Employee Activities FDIC Current/Former Employee $0.00

7

Action taken based on investigative find

No action taken based on inv finding

No action taken based on inv finding Action taken based on investigative find


Action ta ken based on investigative find

Action ta ken based on investigative find Action taken based on investigative find Action taken based on investigative find No action taken based on inv finding









Investigation closed prior to completion



Page 19

2






Action taken based on investigative find Allegation unsubstantiated


Action taken based on investigative find No action taken based on inv finding Action taken based on investigative find



Action taken based on investigative find Action taken based on investigative find








Page 20

4

- - ------ --- ----·- ·· ·- ··



Action taken based on investigative find Action taken based on investigative find

Action ta ken based on investigative find




Investigation closed prior to completion




Allegation disproved


Allegation unsubstantiated

Allegation unsubstantiated




Page 21

6





Allegation unsubstantiated No action taken based on inv finding

Allegation disproved




Page 22

8

(I

l(~)-~~8) --~ __ ... ges-#lat-a-1---fl4~it (b )(8 )-- --· ---· ----- - fOrmerVice·President may ave een involved in at least three (3) loan flip transactions with an Atlanta real

estate broker, an appraisal firm, and a closing attorney.

A206-016 9/24/2013 Preliminary investi- [COULD CONTAIN MORE INFORMATION]

This investigation was initiated based on a referral from the FDIC Division of Risk Management Supervision (b)(4),~l,!l-Tl4'====--· --==-~ , ·. · ~ ,,-> : _ = , ~:·, _: ______ "} ~ - -.. ,. ·::>:-;--; '

"' ' - • ~ -~ l

·: '.: .J., - ,

The allegations are that former ALC vice president and district manager

--1/-1-1/10-B [COULD CONTAIN MORE INFORMATION] !------+---

A208-008

This investigation was initiated based on a referral from the FDIC Division of Risk Management Supervision

!RMS) regarding Integrity Bank (Integrity) (FDIC Cert 35469), Alpharetta; GA. Integrity was an FDIC

regulated institution. The Georgia Department of Banking and Finance IDBF) closed the bank on August 29, 2008, and the FDIC was appointed receiver.

A208-014 12/31/2013 One of the al legation mas that form -[COULD CONTAIN MORE INFORMATION]

This investigation was initiated based on a re uest for assistance from the FDIC Financial Crimes Group

149.5

--- @1.{hl(7)(C)

1,142.00

877.5

2,730.50

(b)(4),(b L_ __ ----- fl:egal-9ivisie - - -s~ s-o who in the 19901s was convicted of bank fraud and M(4),(b)~ L ___ - -- - orderetMo-pa in restitution to the FDIC/RTC. as-refuset!-te-pay -F-OIG-aAy-mo~WDIC -~.J. KMK6) !BJ~}:!Bj ~i&t=_-=:_ -===-- "~.,......~>- ~·--*-·~·~

--------- - - -···-- ·- ·· - -

Pagell

Page 24

This investigation was initiated based on a request for assistance from the Federal Bureau of lnvesti ation -'.....-----··· {.f.Bl)1egar-difl former f-- ____ n l@Mhlm(c) 8/26/2013 Community Bank and - [COULD CONTAIN MORE INFORMATION] 1)84.00

This investigation was opened in April 2010 based on a Hotline complaint .@Mhl(7)(C)

t====t:=--=-==· , lleged1 a DSC Compliance Examiner, was involved in a mortgage fraud

The complainant claimed that llhad- -- - - l®JQX7)(C)

- - -------- puFeilased·anintereity·pmperty-i · and with the assistance of an appraiser had· [COULD

A210-011 1/29/2013 CONTAIN MORE INFORMATION] 433

· This investigation was initiated based on the recei t of information that Jack W. Hines, Jr. (Hines), a loan

(b)(8}---- --·-- e1:1sromer-at-th · ~le~Af.b,v--t----t:~· pledging a stock certificate previously pledged on a loan at another FDIC regulated institution.

(b)(8) - 10-0SS- - -·9fJltfleBAtihei~he-allegation, h- [COULD CONTAIN MORE INFORMATION] The Office of Inspector General (OIG), Office of Investigations (OI), has completed its investigation into a

conspiracy involving the managers of the Bank of the Commonwealth (BOC), (Edward Woodard, Stephen

Fields, Jeremy Churchill, and Troy Brandon Woodard), and favored customers of BOC (Thomas Arney, Dwight Etheridge, George Hranowskyj, Eric Menden, and Ricardo Lewis) which ultimately led to the -[COULD

442

A210--094 12/31/2013 CONTAIN MORE INFORMATION] 1,229.00 This investigation was initiated based on a request for assistance from the Federal Bureau of Investigation

(bX6),(bK )_(gj__ - . m · v-0lvi~ ~n-favestigatioA-G former Assistant Vice President and ){7~Gl (b)(7)(C) _ --- - - f Beach First National Bank (BFNB, FDIC Cert. 34242), Myrtle Beach, SC. . lleg.edly._ ---... J lifil..{Q)(7)(C) (b)(7)(C), -=~=~. - · sed · ositi.oo-at-the·banktoftmnetmoney-. iends. Additional allega- [COULD CONTAIN MORE

A211-023 6/21/2013 INFORMATION] 190 This investigation was initiated based on information provided by the FDIC Division of Resolutions and

Receiverships (DRR) relating to First National Bank of Central Florida FNBCF) (FDIC Cert. 26297), Longwood,

FL. DRR alleged that former FNBCF CEO and Chairwoma artidpated-in-several---·-i-----"11@JQ){7)(C)

schemes involving insider abuse and fraudulent loans. ORR highlighted the purchase of sev- [COULD

A211-026 9/24/2013 CONTAIN MORE INFORMATION] 279

2

------------·-- .. . . · ·- ·

Page 25

This investigation was initiated based on a request for assistance from Trial Attorney Dou~as J. Rosenthal (Rosenthal), Fraud Section, Civil Division, United States Department of Justice (DOJ), Washington, DC. Rosenthal advised that the DOJ received a declaration, filed by

ursuant to the Financial Institution Anti-Fraud Act, 12 United States Cod -[COULD CONTAIN MORE

10/1/2013 INFORMATION] 0 .

4,006.00

C207-002 39 (b)(4),(b) ,~) (8) ------

C207-008 10/23/2013 758 (b)(6),(bX (C), (b)(8) -·-----

C207-051 150

(b)(4), (b~ ) ______ ,,, __ ,, .

October 2007, NetBank (FDIC Cert. 32575) was declared insolvent by the Office of Thrift Supervision (OTS)

(bX6),(b) 7 (CJ and the FDIC was appointed as Receiver. ------------ --------.._ ________ ._ C208-004 6/11/2013 Prior to NetBank's faffiTre;- -[COULD CONTAIN MORE INFORMATION] 761

3

(b)(4),(b)(

(b)(6) (b){? 8-027 12/2/2013 . 965 ' - - - ---- ---Ihis . .inyesti@!ion was initiated based on information received from the FDIC Division of Risk Management

(b)(6),(b) C ____ upervision·tRMS; • Bank of Lincolnwood (FDIC Cert.17309),

Lincolnwood, IL, was repo= RMS to have en a ed in a variety of suspicious transactions. Included in (b)(6),(b) 1~t_.- ---the stlspiciouS"agj_y_~wif , and Bank of Lincolnwood President ·[COULD (bXS),(bJO ~~J.oo-r-'" sn7/2ol3coNT'AiNMoRE1NF0RMAT10N1 · 1,910.00

This investigation was initiated based on a request for assistance from the United States Attorney's Office ottbe-Eastem .. Oisti:ict-oLMJGtiigan-regatdin mlll-a-former-loa.n-officetwith, ___ )(61!hl(7)(C)

Citizens State Bank (FDIC Cert.1006), New Baltimore, Ml, and Peoples State Bank (FDIC Cert.14939), (b)(6),(b) . (QL ___ _ _ lJamti:amck,..Ml~llegedllf-tORspirad--with to conduct fraudulent I· [COULD CONTAIN

C209-037 12/11/2013 MORE INFORMATION] (b)(4),(b)( C), (b)(8) ~--- -----

C210-071 This investigation was initiated based on information provided by the FDIC Division of Resolutions and

Receiverships (ORR) (Irvine, CA) regarding an allegation of counterfeit documents related to an option to

372.5

260.5

purchase a property in Chicago, IL The counterfeit documents were allegedly provided by--- Q1!Qlm(c) (b)(6),(b)( (CL-, ---=-- nd/or their representative to an F'DIC re· [COULD

C211-042 758 (b)(4),(b) I (7)( c) --------- ---

(b )(6), (b) c ---{ .. }(S}-(b )(8) C2.1-2--014- -~/t9/i:-01 131

4

C212-016 (b)(4),(b ,(b) (0)(~(b)( ~==- :::--(b )(8) ···---1--

C212-034 11/12/2013

Page 27

This investigation was initiated based on a request for ass~tance to join a multi-agency mortgage fraud investigation of approximately 100 loans in the Detroit, Ml, area that were funded by Washington Mutual

(WaMu) and IndyMac Bank. This is a joint investigation by the FDIC-OIG, Housing and Urban Development

OIG, the United States Secret Service (USSS) and Federal Home Finance Agency OIG.

C212-036 9/5/2013 Fre ·[COULD CONTAIN MORE INFORMATION] (b)(4),(b) _))b) (7)(C) --

- - ···--t--

(b)(6),(b)( CL __ _ __ _

(b)(4),(b ~---

(b)(8) ------1----(b)(B) - - -- ----

c212-03s 4/1/2013

5

. 42.5

160

227

42

- -(: ~(~

416.5

140

(bX4l,

(b)(6),(b) .)'-"'-(C) __ r-

C212-059

(b)(6), (b)

(b)(8), (b,~s..--i-=--

Page 28

former Division President, was alleged to have embezzled bank funds for his

(b )(8) -------------- ----------~ personal benefit from antnstitutiomegalaredtirMrnc----___ ......

0207-023 12/10/2013 A joint investig ·[COULD CONTAIN MORE INFORMATION}

(b)(4),(b)( b_

(S) 0208-010

This investigation was initiated based on a referral from the FDIC Division of Resolutions and Receiverships (DRR), who reported that ANB Financial Bank (ANB) (FDIC Cert. 33901), Bentonville, AR, suffered significant losses as a result of poor loan underwriting and a5set quality deterioration.

.. - - ~ -, ·- --[COULD CONTAIN MORE

2/27/2013 INFORMATION] This investigation was initiated based on a request for assistance from the Federal Bureau of Investigation (FBI) into allegations that attorney Michael E. Earwood (Earwood) and Northlake Development, LLC

(b )(8) ____ _ ____ (Nor.th!~e-/-committed-baAk--frauri-against Jackson, MS, an institution regulated by the FDIC.

A joint investigation with the FBI revealed Earwood fraudulent~ trans- [COULD CONTAIN MORE

264.S

___Jt 6),{Q).(?)(C)

-~-- Bt(~-

0

-~- _(fil,_{!tl(7}(C}

0

396

___ JtlL

1,791.50

D208·013 8/14/2013 INFORMATION] 892.5

6

was involved in a loan fraud scheme with -&akland-Deposit-Sankwas-acquired by the Farmers Bank of Lynchburg (FDIC Cert.1690), Lynchburg, TN on December 23, -[COULD

D209-002 7/12/2013 CONTAIN MORE INFORMATION] 399

(b)(6),(b) c __ .. __ -:::::=--e1Jefll~ :_,_; (b)(S),(b)L ttbs-Ou~ 1/18/2013 INFORMATION]

This investigation was initiated based on a referral from the FDIC Div~ion of Risk Management Supervision (RMS) regarding alleged fraudulent activities of executive officers at Colorado Ca ital Bank FDIC Cert.

277.5

34522), castle Rock, CO, an institution re ulated b the FDIC. RMS advised tha ice-- _ _J_ )(_61JQ)_(7)(C) (b)(6),(b '+'-(._C_,__) _

0210-029 This investigation was initiated based on a referral from the Federal Bureau of Investigation (FBI) regarding

... =~}~(1)(C)

(b )(8) . ·--·· r.mer-.employee-S--Of ~OO-aUegatjan&-0f-a-t~c-k-kitin~+--__._, (b)(B) -1----- ;As ·

0211-010

__ ....... --~---________ ..---· ........ -~~ ...

The initial information received by the OIG allege- and. erein;lv;n-atheck-kitmr---1--->-(, ~_(7)(C) 7/18/2013 scheme. Specifically, 0-[COULD CONTAIN MORE INFORMATION] 807

This investigation was initiated based on a request for assistance from the Federal Bureau of Investigation (b)(6),(b) j{Q_ __ - ·-·-- - . r.e ar-di

(b )(8 )- ------ --··---- te-ehtvinirc-0mmef€ial.ffia-R-fGr----·•- -----"l'-':J. 14itfUPJ{ 1!b} mr~t.t~i r

0211-029 12/31/2013 A joint investigation conducted with-\COULD CONTAIN MORE INFORMATION]

Vice President, Cashier, and BSA Officer

~ff 8) ·-··~- - o Shaw engaged in a scheme to fraudulently obtain bank funds for personal use. In June 2011, she admitted her activi-[COULD CONTAIN

898

D211·036 5/22/2013 MORE INFORMATION] 405.5

7

(b)(6),(b)( ~- -H/Jt/te-13

(bX6),(bJC }{gL ___ _ ___ _

0212-028

(b)(6),(b)( }(g__ ___ _

(b)(4),(b)( .~) (7)(C),(b)()

K206-021

1

This investigation was initiated based on a referral from the FDIC Division of Risk Management Supervision (b)(4), (b)Q m__ __ MS)-!ega~dmg..-tn , · - '.~~, ~ '.-_. _ . t' · ;'J. was a holding (7)(Cl company that was engaged in insurance franchising, insurance agency financing, and banking. (bJ(6)i(bX)!Q)_ __ ~~-= was.the of the :

K208-017 10/28/2013 Fro· [COULD CONTAIN MORE INFORMATION]

K209-006

(h J(6J, (b x:µ-\Cc'--l----

This investigation was initiated based on a request for assistance from the United States Attorney1s Office

for the Western District of Missouri, Housing and Urban Development Office of Inspector General (HUD-OIG), and the United States Secret Service (USSSJ. The USSS and HUD-OIG received information that identified multiple subjects, to include the principals of 1~~4),J6K6);~)(7)(C) : )ocated -[COULD

11/21/2013 CONTAIN MORE INFORMATION]

This investigation was initiated based on information obtained from a private citizen of

relating to a possible commercial loan fraud scheme perpetrated against Columbian Bank & Trust (CBT) by Vincent Garcia, President of the Blue Dot Corporation. CBT closed on August 22, 2008 with the

FDIC appointed as receiver.

K209-010 12/19/2013 Beginning in 2005 and continuing through 2007, Vincent Ga· [COULD CONTAIN MORE INFORMATION] This investigation ·was initiated based on a request for a5sistance from the United States Attorney's Office

for the Western District of Missouri (WDMO), Housing and Urban Development Office of Inspector General

(HUD-OIG), Internal Revenue Service Criminal Investigations jlRS-CI), and the United States Secret Service (USSS). The USSS and HUD-OIG received information that identified multiple subjec -[COULD CONTAIN

6/10/2013 MORE INFORMATION]

K210-017 11/25/2013

The OIG/01 opened an investigation involving Operation Starburst based on a request for assistance from

the United States Attorney1s Office and the Minnesota Financial Crimes Task Force (MFCTF). During the period of 2006 to March 2011, the convicted defendants devised and participated in a scheme to defraud

banks and bank customers using stolen identities, stolen and fraudulently created bank ace -[COULD

1,023.50

1,344.50 _ @JQ1(7XC}

724.5

379

----·--·-·--- }(6),{bl(?)(C}

402

K211-001 10/22/2013 CONTAIN MORE INFORMATION] 480

9

This investigation was initiated based on allegations received from the Internal Revenue Service, Criminal Investigation Division (IRS-Cl), of potential embezzlement by -€£&and-Cila1fmafli>f-tlle-- -·-·

is-a~QIC-regulated-iflstitutioo.----1

Contact with RMS revealed that beginning as early as 2005 and continuing to the present -[COULD

K212-002 9/11/2013 CONTAIN MORE INFORMATION]

K212-003 8/5/2013

~~lP)t -~ -~~,~·--------.:.

(b)(8) - - ----- -·-- .

K212-014 This investigation was initiated based on a request for ass~tance from the United States Attorney's Office

for the Northern District of Iowa and the U.S. Department of Labor (DOL) regarding the investigation of

9

___ _{ @,(Ql(7)(C)

90.S

-·- ··----( . }(S}-

17

(b)(6),(b)( CJ_ ._ ------- President and trustee of Sioux Automation Center Incorporated Employee Stock Ownership Plan (ESOP). DOL Hotline complaints indicate tha.has-possibly--e---f€0Hl:B-C-ON1-AIN---t--------'=!A~· ~X7l(C)

K212-020 4/11/2013 MORE INFORMATION]

This investigation was initiated based on a re uest for assistance from the United States Secret Service

( b )( 8) - --- -··- ·-- {YSSS)·rega-rtiing·a--a--potentiaHnsider-at (b)(S) _ _ ______ . fin.anciaLins!itu.tian.r.egulated.b:fthe.IDlC.- ·_

~8'~:;;-- 11/;~;0; ~ORE INFORMATION! The Office of Inspector General (OIG), Office of Investigations (01), has completed its investigation into the

bank fraud case involving the aforementioned defendants. This memorandum is for informational purposes;

no action is necessary.

Background: This investigation was initiated based on a request for assistance from the United States

0

23

N206-022 12/31/2013 Attorney's Office in the Eastern District of New Yo -[COULD CONTAIN MORE INFORMATION] 2,655.00

10

Pa.ieJ3

Page 33

This investigation was initiated based on a request for assistance from the U.S. Attorney for the Eastern District of New York and the U.S. Immigration and Customs Enforcement (ICE) into allegations of mortgage

fraud by the principals of Home Cash Inc (HCI) and a si~er organization, Property Cash, Inc (PCI), both of Brooklyn1 N.Y. HCI and PCI are unlicensed real estate firms operated by Dominica - [COULD CONTAIN MORE

N207-022 2/20/2013 INFORMATION] 3,136.00 This investigation was initiated based on a re uest for assistance from the Federal Bureau of Investigation

(b)(6),(b) CJ __ ---- lfBt),-Newl'ork;-NY;intoallegationstha and dba _ _ _ JL 6 J!U(7)(C) Narcarta Holding Corporation (Narcarta), New York, NY, engaged in a scheme to steal the bulk of the

proceeds of a number of real estate transactions in the New York area and Central Flor - [COULD CONTAIN

12/31/2013 MORE INFORMATION] 1,371.00

---- Ttils investigation was initiated based on a referral from the District Attorne of Worcester County, MA, to (bXS),(b) ~q-- ---- the New England Mortgage Fraud Task Force INEMFTF), Boston, MA -allegetHlra1f-+---- --'=' (b)(6),(b) (.Q)_ ____ 'n.JanuClPf-2007, :- ·, as recrui~d as a straw buyer in a foreclosure rescue scheme organized by- -1----.u1 (b)(6),(b)G}©__ ___ . --~ a mortgage broker tor l(bJ(6),(b){!~_C) _ .• ; \ .· • ~- ~ [COULD CONTAIN MORE

N208-016 3/26/2013 INFORMATION] 1,705.00

90.S

N209-005 12/31/2013

11

hief, labor and Employee Relations Section, DOA informed the OIG that •. :~~~·'f~ -, ; ,,~,~~:I '" '::t '~c ';,

Human Resources Specialist, DOA, had admitted to taking five checks totaling $19,510 payable to the FDIC f-23/1013 arul-depo.siteG-them-int{}-tf] personal account. Specifically, •1oo~l-!)-fG-N-TAIN-MORE.!NroRMA!ION.}_"

13

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